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2625 Townsgate Road Suite 330, Westlake Village, CA 91361 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-08 |
Branch Locations
Parker Dam, CA • United States
2625 Townsgate Road Suite 330, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cabot Lodge Securities Llc | New York | NY | 12/2015 | 10/2016 |
| Cl Wealth Management Llc | New York | NY | 12/2015 | 10/2016 |
| Financial West Group | Westlake Village | CA | 01/2017 | 04/2017 |
| N/A | Huntington Beach | CA | 10/2016 | 01/2017 |
| Niagara International Capital Limited | New York | NY | 05/2017 | 12/2017 |
| Chalice Wealth Advisors | San Diego | CA | 10/2017 | 12/2017 |
| Kovack Securities Inc. | Fort Lauderdale | FL | 02/2018 | 07/2019 |
| Lazari Capital Management | Woodland Hills | CA | 04/2018 | 08/2023 |
| Kovack Securities, Inc. | Newport Beach | CA | 04/2020 | 08/2022 |
| Kovack Advisors, Inc. | Newport Beach | CA | 04/2020 | 08/2022 |
| Integrity Brokerage Llc | Monterey Park | CA | 09/2021 | Present |
| Williams & Novak Wealth Management, Llc | Westlake Village | CA | 08/2023 | Present |
| Thornton And Associates | Pasadena | CA | 12/2022 | 10/2023 |
| Vistia Capital, Llc | Lone Tree | CO | 10/2025 | Present |
1. Williams & Novak Wealth Management LLC, DBA Strategic Wealth and Taxes; Investment related, 2625 Townsgate Rd., Suite 330, Westlake Village, CA 91361; Investment Advisor and Chief Compliance Officer 08/08/2023. 2. Strategic Wealth and Taxes a DBA of RMD Consulting LLC; 5000 Birch Street, Ste 3000, Newport Beach, CA 92660; Taxes, Bookkeeping and Tax Advisory; Non-Investment Related; Managing Member 2/8/2019; 5 hours per month during trading hours. 3. RMD Consulting LLC; 16458 Bolsa Chica Street, #414, Huntington Beach, CA 92649; Compliance Consultant to Registered Investment Advisory or Broker-Dealer firms; Non-Investment Related; Managing Member 2/8/2019; 5 hours per month during trading hours. 4. Integrity Brokerage, 309 Hilliard Ave., Monterey Park, CA 91754 - Non-Investment Related - FINOP. Less than 5 hours per month 5. Insurance Agent - Non-Investment related; Nature of business: Insurance sales. Position/Title: Insurance Agent. Start date: 2006. Number of hours devoted during securities trading hours: Sale of Life, Fixed & Immediate Annuities, Long Term Care & Health insurance policies. Less than 5 hours a month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-11-13 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-18 |
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